Control & Compliance Job Description

Control & Compliance Job Description

176 votes for Control & Compliance
Control & compliance provides assurance to the management that operational and financial reporting controls are working in accordance with VFS internal control framework and the company directives.

Control & Compliance Duties & Responsibilities

To write an effective control & compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included control & compliance job description templates that you can modify and use.

Sample responsibilities for this position include:

Responsible for efficient operational of the Asia Control Room, including but not limited to control room operating process, procedural manual, control room technology, wall-crossing, maintenance of grey and restricted lists, ongoing and pre-deal research clearance, dealing restrictions, information barriers, MNPI
Working with Legal and External Counsel on transactional pre-research issues
Reviewing publication of all ongoing and pre-deal research for Asia Pacific, and to chaperone communications where required
Working together with other LOB compliance on all control room matters
Providing training as appropriate
Pre-clearing permitted communication between banking and research
Providing ongoing advice and guidance to the business in respect of Chinese wall, insider dealing and market abuse issues
Participating in the Compliance team training efforts and taking responsibility for providing training to various business areas in specific areas of expertise
Assists to ensure compliance with the company policies and business ethics
Raise aware of risk and Harmonize finance control processes across internal customers and various business units

Control & Compliance Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Control & Compliance

List any licenses or certifications required by the position: CAMS, CPA, CRCM, CISA, CIA, GRC, CFA, ODOT, CISM, CISSP

Education for Control & Compliance

Typically a job would require a certain level of education.

Employers hiring for the control & compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Finance, Business, Education, Accounting, Financial Services, Law, Management, MBA, Economics, Business/Administration

Skills for Control & Compliance

Desired skills for control & compliance include:

Risk management and internal control principles
SEC rules/reporting and internal controls
Sarbanes Oxley Act of 2002 and COSO internal control framework
Financial Services and their operational processes
Financial Services and their operational processes desired
Experience in company operations to assist in the development
ICH Q7 and cGMP for drug products is an advantage
Implementation and administration of project guidelines and procedures
Microsoft Office applications

Desired experience for control & compliance includes:

3+ years experience in AML, compliance, operations, project organization, or related position preferred, or relevant course work in criminology, law, logic auditing
Demonstrated ability analyzing large amounts of data, deciphering higher risk attributes (transactional, geographical, product, customer type, ) and dispositioning appropriately
Ability to perform comprehensive analysis in an evolving data environment
Familiarity with IIROC rules and applicable securities Commission rules
Knowledge of market structures and operations and the associated regulatory issues
Extensive knowledge of investment banking activities and in-depth product knowledge a plus

Control & Compliance Examples


Control & Compliance Job Description

Job Description Example
Our innovative and growing company is hiring for a control & compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for control & compliance
  • Produce exception reports showing
  • Produced Monthly IBGCC reports for Head of MIB Compliance
  • Meet key stakeholder expectations by provide advice and support to the Conflicts Project Team as the subject matter expert across Conflicts
  • Meet Compliance Management expectations by providing ad-hoc support across a number of piece of work around MI and upstream reporting
  • A key part of the role is in the management of risks relating to conflicts of interest, regulatory and compliance
  • Actively consider the inherent, material risks of the business/organisation
  • Establish and deploy robust risk and control frameworks which meet the strategic needs of the Group, including communication, training and awareness
  • Provide expert support and advice to the business on risk management
  • Conduct suitable assurance to ensure 1st line compliance with policies/responsibilities
  • Provide senior executive with relevant management information and reports and escalate concerns where appropriate
Qualifications for control & compliance
  • At least 5 years of exprience in compliance and/or securities background
  • Good understanding of US securities laws and HK and Singapore Takeover Panel rules
  • Excellent organizational skills, able to prioritise daily tasks with project work ad hoc requests
  • Professional (CA, CMA & CS) with 5 years of experience
  • Compliance or legal-related experience in financial services industry preferred
  • At least 4 years of relevant work experience in Control Group compliance preferably with a global financial services company or with a securities exchange or securities regulator

Control & Compliance Job Description

Job Description Example
Our company is hiring for a control & compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for control & compliance
  • Coordinate/ Validate the year end KIIDs review for ManCo Clients
  • Organisation of the day to day Oversight activities
  • Set Partner objectives, monitor these and provide feedback through regular one to one meetings and team meetings
  • Manage work allocation within the team
  • Provide management and guidance to staff, fostering an environment which encourages employee participation, teamwork and communication
  • Development, recruitment and appraisals of Partners
  • Assist with process mapping and risk and control identification sessions held within the business to support development, and periodic confirmation of the adequacy of scope and content of horizontal Risk and Control Self-Assessments (RCSAs)
  • Assist with the maintenance of the Force System
  • May assist with the development and maintenance of RCSA related reporting
  • May perform routine thematic data analysis
Qualifications for control & compliance
  • Maintains all Business BCP plans up to date and execute testing
  • In depth understanding of risk management control concepts such as reconciliations, access management, information retention requirements, Capacity planning
  • 3-5 years of relevant Control Room experience
  • A focus on time sensitive market commentary and research review
  • Equity and Fixed Income surveillance knowledge
  • Familiarity with Equity Research Rules

Control & Compliance Job Description

Job Description Example
Our innovative and growing company is hiring for a control & compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for control & compliance
  • Mentor Compliance analysts and contractors as needed
  • Perform quarterly PwC Independence Attestation
  • Demonstrate proven leadership and managerial skills by successfully executing projects, influencing decision makers, recognizing potential challenges, and taking actions accordingly and timely informing management of progress
  • Challenges the status-quo/ influencing stakeholders to go beyond the basics in compliance
  • Assemble the documentation of findings/observations, including drafting regular reports
  • Develop a deep understanding of the nature of the work processes under review and convey observations to enterprise partners
  • Working with the Conflicts Resolution Group (CRG) to facilitate approval for certain firm and client transactions and subsequent risk management activities
  • Assist in the implementation of control plan
  • Perform independent controls and testing according to the control plan
  • Assist in preparation of periodic reports to group and business
Qualifications for control & compliance
  • Visio process mapping skills a plus
  • Proficiency in Phoenix desired , awareness of Force functionality helpful
  • Help establish the regional compliance framework while identifying actual and potential regulatory issues to the bank and its stakeholders
  • Engage in effective risk based monitoring and controls testing for APAC making sure the Bank is in compliance with all regional and global regulatory requirements and procedures
  • Limit the risk of any private or public or public sanctions against the Bank
  • Identify any activity that may negatively impact on the customers of the Bank

Control & Compliance Job Description

Job Description Example
Our growing company is hiring for a control & compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for control & compliance
  • Monitor changes in securities regulations and implement or update applicable policies and procedures
  • Facilitate telephone calls between research analysts and investment bankers in order to prevent communications that could lead to violations of applicable rules and regulations (the function is referred to as “Chaperoning”)
  • Review email correspondence between research analysts and investment bankers and act as Gatekeeper
  • Give advice and explanations regarding the above topics
  • Contribute to a team enviornment of 8+
  • Supporting the end-to-end AP control set and its operation including the processes already performed by our BPO partner
  • Supporting that the AP controls are being implemented and operated at a standard level in all businesses in scope
  • Provides support as expert in AP related external and internal audits
  • Continuously seek for CI and C&C opportunities to reduce AP related risks in the process
  • Working closely together with the Internal Control team regarding AP related topics
Qualifications for control & compliance
  • English & Bahasa Malaysia
  • 3 years of experience in managing sensitive issues/ethical dilemmas ideally gained within a healthcare/pharmaceutical environment
  • Good working knowledge of operations/quality systems understands work processes of QC operations/support teams (eg
  • Contributes toward overall objectives
  • Position functionally autonomously and directly supervises employees
  • Minimum of a Bachelor’s degree in science (or equivalent) and 2-4 years of experience is required

Control & Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking for a control & compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for control & compliance
  • Maintain and enhance the Company's Internal Control Framework
  • Review execution of controls on a periodic basis
  • Support to the development and execution of control self-assessment programs (302)
  • Support timely and effective remediation of control deficiencies
  • Liaise with key stakeholders - as Audit Services, SOX team
  • Act as the single point of contact on site for ICFR training and consultancy
  • Prepare project plan detailing all steps that R&C team will perform as part of involvement in project
  • Review of process flows and highlight risks and current controls
  • Interview key stakeholders and identify risks (focus on financial reporting risks)
  • Prepare risk assessment report
Qualifications for control & compliance
  • Experience facing off to regulators
  • Strong organisational and project management skills and attention to detail
  • Ability to manage multiple open issues and projects at the same time and meet timely deadlines
  • Ability to apply and build knowledge of regulations to numerous types of sales, trading, research and banking activities and transactions in addition to interpreting the effect of restrictions on these activities
  • Minimum of 3 – 5 years of experience with a financial services firm in a Compliance (preferably Control Room, Research or both) role
  • Working knowledge of Japan securities rules and regulations, especially those of the FIEA and JSDA

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